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2 maj 2023 · Access information about investment advisors, brokers, broker-dealers and agents, investment firms and individuals, securities or franchises registered for sale, and trademarks and service marks registered in Virginia.
- Securities Registration
An application to register securities is made by filing the...
- Securities Registration
An application to register securities is made by filing the following: Completed application form. Application fee, payable to "Treasurer of Virginia". Offering document. Any other information required during the registration process by the Securities Act or regulations. Review Transactional Securities Exemptions Table; Coordination (§ 13.1-509)
Broker-Dealer and Agent Registration Instructions. Note: All broker-dealer and agent registrations expire annually at midnight on the 31st day of December unless renewed. Virginia does not have a deminimus for broker-dealers. Broker-Dealer Initial Registration. Broker-Dealer Agent Initial Registration.
An individual applying for registration as an investment advisor representative shall be required to provide evidence of passing within the two-year period immediately preceding the date of the application (i) the Uniform Investment Adviser Law Examination, Series 65; (ii) the Uniform Combined State Law Examination, Series 66 and the General ...
Becoming a stockbroker in Virginia will involve registration with the Virginia State Corporation Commission: Division of Securities and Retail Franchising as a broker-dealer agent, as well as registration with a Securities and Exchange Commission (SEC)-recognized self-regulatory organization (SRO).
As a service to the public, the Virginia Administrative Code is provided online by the Virginia General Assembly. We are unable to answer legal questions or respond to requests for legal advice, including application of law to specific fact.
This guide will help you to become a financial adviser in Virginia by describing how to register an independent investment advisor (IA) firm of your own or how to become registered as an investment adviser representative (IAR) so as to work for an established firm.
